Records and Information Management: An Overview

What are Records? Records - Any recorded information regardless of physical form/characteristics or storage media created, received, maintained and used by an organization or an individual in pursuance of legal obligations or in the transaction of the business of which it forms a part or provides evidence. The Management of Public Sector Records: Principles and Concept

What are Records? Public Records – documents created or received and maintained in any public sector entity. These records are governed by legislations, which determines how they are to be managed throughout their life cycle.

The Importance of Records/Information to an Organization Records provide information about and evidence of the creating organization functions, policies, decisions, procedures and operations. It is therefore, one of the most vital strategic and operational assets of an organization.  It is needed for critical strategic decision making  It preserve corporate memory  It minimizes litigation risks  It generates revenue  It deliver services etc.

Some Consequences of Improper Management of Records/Information  Inefficiency  Untimely delivery  Risk severe penalties and loss of corporate reputation (non-compliance with regulations and legal statutes)  Unnecessary storage of records  Failure to protect critical information from loss/destruction

Records Management The records management process is vital to the effective, efficient, economical and ethical operations of the Organization. Definition: It provides for the systematic control of records from creation or receipt through their processing, distribution, organization, storage and retrieval to their ultimate disposition.

Records Management The aims of a Records Management Programme are: to provide the right information to the right person at the right time For the right length of time In the most efficient manner For the lowest possible cost To know where records are to know who dealt with records

Records Management Records Management Processes and Controls:  Determining documents to be captured into your system  Determining how long to retain records  Records capture  Registration (not all system carries registration)  Classification  Storage and handling

Records Management Cont’d  Access  Tracking  Implementing disposition  Documenting records management processes (policies and procedures)

Records Management Requirements In order to support the continuity of the business, comply with the regulatory envi- ronment, be accountable and transparent the characteristics of records should be Maintained. Characteristics of a record:  Authenticity – this is embodied in the record- keeping system. That is, it can be verified to be exactly as it was when first transmitted or set aside

Records Management Requirements  Reliability – reliability is linked to creation. Who created or issued the record? Under what authority  Integrity – after creation the records should not be susceptible to change. Authorized annotation, addition or deletion should be explicitly indicated and traceable  Usability – can be located, retrieved, presented and interpreted

Records Management Requirements Some Principles of records management Programmes:  Deciding what records to be created and what information should be included  Deciding format, structure and technology for creation and captured  Preserving records and making them accessible  Identifying and evaluating opportunities for improving effectiveness, efficiency or the quality of its processes

Creation and Receipt Records originate internally from dictation, hand-written drafts, and externally from mail, computer output, telecommunication systems and data processors When a letter is written, an invoice typed, a report prepared, an engineering drawing made, or a new formula recorded, a record has been created

Distribution The creation phase is followed by the distribution phase which is sending the required information to the right persons, for effective job performance

Use Records provide information for decision making, documentation, response to inquiries, reference purposes or for supporting legal requirements

Maintenance Maintenance includes filing, retrieving and transferring records. Procedures used in this phase include:  Filing system  Indexing and cross referencing  Classifying  Records Inventory  Storage facilitiy

Disposition Where records are no longer frequently referenced the disposition phase is applied. This includes Transferring to inactive storage Archiving Discarding or destroying Changing from one format to another

Records Classification Records may be classified as active or inactive depending on how often they are used. Active Records A record is considered to be active when used on a regular basis. For example, the personnel records of current employees

Records Classification Records status changes as the frequency of use decreases. Semi-active A record is classified as semi-active if it is referenced once per month Inactive Records It is considered inactive if it is referenced fewer than ten times per year

Storage Facilities Records may be stored in private, com-mercial record centres or an archives The method of storage selected is based largely on whether the records have been previously classified as temporary or long term. Records Centres are designed for temporary storage of inactive records Archives house public or private records that have been selected for long term storage and preservation

Temporary Records A temporary record does not have continuing or lasting value to the organization Temporary records are also called transitory or transactional records indicating their temporary value to the organization. They may include responses to letters and routine requests.

Long Term Records A long term record has continuing value and is held indefinitely or for a specified period It documents organizational history, policies and procedures Vital records are included in the category of long term records

Vital Records Vital records are essential to the operation of the organization’s continuation and/or resumption of operations following a disaster Examples include accounts receivables, inventory lists, contracts and patents

From Creation to Disposition Official Record? Capture, Classify, Index and Sentence Appraisal and Disposal Document Created/ Received Apply Normal Administrative Practice Records inactive or older than X years Permanent or Temporary? Evidence Yes No Risk Management Hardcopy/Electronic Business/Personal Context

From Creation to Disposition PermanentTemporary Send Transfer Documentation to Records Centre Store or Destroy? Return Transfer Documentation to Ministry/Agency/ Dept. to amend Review Transfer Documentation Destroy in accordance with Disposal Schedules and Archives Advisory Committee approval Make arrangement for Storage (Government Records Centre) Ministry/Agency/ Dept. Transfers Records to Archives Unit Transfer Temporary Records to Government Records Centre Inadequate Adequate

From Creation to Disposition Capture and Control Records Send Annual Summaries to Archives Unit (Preservation & Conservation) Destroy in accordance With Disposal Schedule And Archives Advisory Committee Appropriate Access to Permanent Records Granted Archival Description Official Records Archival Storage ResearchJARD Responsibility Ministry/Agency/Dept. Responsibility